In Regulatory Wrap for the week to February 23, Rob Mason breaks down the FCA's Market Watch 76, which covers "flying" and "printing" as continuing risks in the industry.
In Regulatory Wrap for the week to February 16, Jennie Clarke reports on the FCA’s recent investigation involving money laundering and insider dealing found to be connected to organized crime groups.
In Regulatory Wrap for the week to February 9, 2024, we share insight into the FCA's recently published Market Watch 76 report, and how concerns around potential market abuse and 'flying and printing' that were first raised back in 2015 are still causing regulatory rumblings today.
In Regulatory Wrap for the week to January 26, 2024, we explore how 2024 could see heavy regulatory focus on non-financial misconduct, and how the FCA is leading the charge when it comes to policing proper conduct.
The FCA has continued its focus on non-financial misconduct by issuing a letter to insurers and insurance agents requesting information on NFM incidents at firms – including the outcomes of these incidents.
On February 7, 2024 we were joined by Jamie Bell, Head of Secondary Market Oversight, FCA, to discuss conduct, culture, and compliance challenges – from non-financial misconduct to AI and crypto.
Compliant communication – what makes it so difficult to control? Financial experts unpack the challenges that coincide with communications, especially when contending with new channels and rigorous regulatory enforcement, and answer pressing questions on how best to navigate them.
In Regulatory Wrap for the week to December 8, 2023, Jennie Clarke looks into why LinkedIn could cause the next compliant comms crisis
Multiple U.S. and U.K. regulators have taken enforcement action against firms for off-channel communications on WhatsApp, however, the primary U.K. regulator is yet to make it a clear priority. What can we expect from the Financial Conduct Authority (FCA) going forward?
With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.